Modernize compliance to move at the speed of your business
Broad personal & institutional coverage
57+ automated conflict checks — 21+ personal, 36+ institutional — on one taxonomy and one record.
AI-first
Natural-language disclosures, AI case summaries and 50+ automated checks — reviewers see only what needs judgement.
Defensible
Every check, decision and rationale in one audit-ready record — regulator requests answered in minutes.
The measurable difference
Every metric reflects real client-shared benchmarks. Compliance stops being the brake — and starts moving at the pace the business needs.
How it works
Compass captures every conflict of interest, personal and institutional, and turns each disclosure into a decision-ready case with the relevant checks already run.
Employees stay productive; controls stay current.
Disclosures filed in natural language via the UI, Slack or Microsoft Teams. Annual attestations pre-fill from the year's captured activity. Compliance stops chasing and starts making decisions.
AI-assisted natural-language form intake
Annual attestations, pre-filled
Automated follow-ups & escalations
Focus on actionable conflicts, not noise.
Every disclosure checked against 57+ conflict scenarios at submission — 21+ personal, 36+ institutional. Configurable rules auto-approve low-risk cases; reviewers see only what needs judgement.
Integrated context, AI summaries & 50+ automated checks
Configurable rules engine
Declaration change detection
Decisions hold up under scrutiny.
Every check, decision, rationale and timestamp captured in one connected, audit-ready record. Regulator requests that once took days now take minutes.
Built-in MAR & regulatory reports
Two ways to build any report
57+ automated conflict checks — all on one platform
One taxonomy, one record — across personal and institutional conflicts of interest, aligned to every major regulatory regime.
Compass + Quantum + Polaris + Atlas — one platform
Case-in-context, with no reconstruction: communications, trade activity and restricted-list context flow into every Compass case before a reviewer opens it.
A PAD pre-clearance arrives with the trading history already there; an MNPI disclosure with the relevant communications already surfaced. No manual pulls, no reconstructed cases. Connected by design.
Trusted by the institutions regulators examine first
Built on Behavox technology, in production at institutional scale since 2014. SOC 2 Type II certified, aligned to the major conflicts and personal-conduct regimes globally.
Regulatory alignment: SEC Rule 204A-1 · FCA SM&CR · FINRA 3210 / 3270 / 3220 · MiFID II Art. 23 · AIFMD II · BaFin MaComp AT 8.2 · WpHG § 63 · UK MAR Art. 19 · DFSA / ADGM.
Certifications & infrastructure: SOC 2 Type II · ISO/IEC 27001 (certified) · ISO/IEC 42001:2023 (certified) · FedRAMP-authorized cloud platform (Google Cloud) · configurable data residency.
Frequently asked questions
- What does Compass do?
- Compass is the integrated conflicts-of-interest platform that captures every personal and institutional conflict disclosure, checks it automatically against 57+ conflict scenarios, and keeps the decision, rationale and evidence on one audit-ready record.
- How fast is PAD pre-clearance with Compass?
- Personal account dealing pre-clearance takes about 90 seconds in Compass, compared with 20+ minutes for manual review, and annual declarations take around 5 minutes instead of roughly two weeks per employee.
- How does Compass connect to the rest of the Behavox platform?
- Compass integrates with Quantum for communications context, Polaris for trade activity, and Atlas for restricted-list checks, so every case arrives with the relevant signals already inside it — no manual pulls or reconstructed cases.
See it on your own data
Book a 30-minute session tailored to your firm's risk, channels and regulatory footprint.
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